# The National Archives

## Information Management Assessment Programme

### Action Plan

| # | Recommendation | Actions | Priority | Timescale | Owner | Observations | Delivered | |---|----------------|---------|----------|-----------|-------|--------------|-----------| | 1 | The National Archives should conduct a review of the KIM programme by December 2011 to assess the impact and effectiveness in meeting its aims. | Action 1.1: KIM team to undertake review, with input from IMC/Strategic Projects/Internal Audit, on the basis of agreed KPIs | High | January 12 | SL | KIM balanced scorecard for programme to date developed; agreement to present jointly to exec team with IA to show how the corporate risks across ‘confidentiality, integrity and availability’ are being addressed. Balanced scorecard includes KIM corporate outputs (compliance and information sharing & exploitation) and KIM support for specific business plan projects and themes. | Yes | | | Action 1.2: New metrics to assess KIM programme going forward. To include more use of business data analysis in key corporate systems like Objective and Narnia. | | High | January 12 | SL | Objective statistical analysis developed and on Narnia; KIM team researching visualisation tools to help present big data, as part of sensitivity review project. KIM also discussing with ICT the potential need for additional data analysis software or development of sequel reporting services, to provide better business data analysis. | Underway | | | Action 1.3: Statistical analysis of retentions schedules in Objective to give new business analysis insight | | High | March 12 | All | All retention schedules applied to 2003-2008 Objective file plan (18,500 files). Analysis underway. (Retention plan for 2003-2008 file plan agreed with SIRO) | Underway | | 2 | The National Archives should reassess the format and frequency by which KIM and IA/IS progress is reported to the Board to ensure organisational commitment and visibility of the programme. | Action 2.1: Agree with SIRO and schedule first report to Exec Team | High | January 12 | SL | First progress report to Exec Team was postponed. Still awaiting joint presentation with IA. Will seek agreement from Exec team to frequency of updates when first report is given | | | | Action 2.2: Further integration of KIM with IA function | | High | March 12 | SL | KIM/IA jointly presenting to IAOs on risks; agreement on joint approach to risk management via directorate risk register | Yes | | | Action 2.3: KIM input into IA training programme across Whitehall | | High | December 11 | SL | KIM leading on IM aspects of training – e.g. major input into CSL’s new ‘Protecting Information level 1’ on-line training and leading on scenario workshops with face to face SIRO training | Yes | | Action | Description | Priority | Start Date | SL | Notes | |--------|-------------|----------|------------|----|-------| | 4.1 | Agreement that KIM is represented on the IT strategy group and has ad hoc engagement with the Board as necessary | High | September 11 | SL | First IT strategy group meeting in December; Head of KIM now on IT Strategy Review panel (and lead on user engagement and information management themes) | | 8.1 | KIM team to implement monthly ‘top tips’ including guidance on corporate value | High | September 11 | MA | ‘Top Tips’ launched in September: series of short, single-issue briefings on Narnia and based on user feedback from KIM consultations with business teams. Includes guidance on corporate value | | 8.2 | Narnia refresh to incorporate better integration with Objective and Objective corporate guidance | High | Awaiting Narnia project | SL | KIM team will ensure that Narnia refresh project includes better and more prominent access to Objective and Objective corporate guidance | | 10.1 | KIM team to consult ICT about the best way of doing this in the shared drives and then launch project; include DROID use | High | February 12 | KJ | Planning started and initial discussions with ICT held; ICT producing mapping report in April, following which KIM will go out to business asking for ownership to be declared | | 10.2 | KIM team to co-ordinate with project to identify image ownership in shared drives etc | High | May 12 | SL | CBD Project to further clarify ownership and commercial value of images held in TNA business systems; agreement to co-ordinate with KIM team on 10:1, and to add the eventual information to the WTK schedules | | 10.3 | KIM team to co-ordinate with IA project to identify risks to management of incoming data from government | High | June 12 | SL | KIM have agreed with IA team that the data risk review of incoming government data should require asset owners to catalogue these assets in the WTK schedules | | 18.1 | ICT to confirm this is being done | High | September 11 | MA | Capacity management is now part of the ICT strategy and a key element of forward ICT planning, where KIM is playing a role |

Signed: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Department IMA Team Information Management Consultant | Action | Description | Priority | Due Date | SL | Status | |--------|-------------|----------|----------|----|--------| | 23.1 | KIM team to agree and publish policy; consider enforcement via IAOs | High | December 11 | SL | Done (KIM are also promulgating good practice on helping to protect the personal information of others where this is discovered unprotected) | | 3.1 | KIM team to discuss with IA team and agree action with SIRO | Medium-low | December 11 | SL | KIM is now properly represented on the DSC, where IA/IS is discussed with a wide input from across TNA including all directorates. | | 5.1 | KIM team to devise follow-on training/guidance for IAOs post-September reports to DSC | Medium-low | November 11 | SL | Follow-on guidance and briefing sessions completed for all IAOs and IAMs. | | 6.1 | KIM to include KIM risks in departmental register and amend strategic risk register | Medium-low | October 11 | SL | Technology Directorate risk register, and strategic risk register, amended, and mitigating KIM actions are now properly represented | | 7.1 | Requirement for IAOs to confirm biannually that their WTK schedules are up to date; support to IAMs; template for WTK schedule changes | Medium-low | Ongoing | KJ | All WTK schedules confirmed up to date in November IAO reporting to SIRO; IAOs have been tasked with further development of WTK schedules including technical characteristics. Further expansion of WTK schedules expected when shared drive ownership has been properly mapped. | | Action | Description | Medium | Date | Responsible | Notes | |--------|-------------|--------|------|-------------|-------| | 9 | The KIM team should set out how and when documents should be added to Objective as part of the WTK guidance. | Medium-low | December 11 | KJ | New guidance added - awaiting shared drives project to complete. Recent comprehensive trawl of file plan suggests good practice is being maintained. | | 11 | The National Archives should assess the business case for improved search technology for use across the department. | Medium-low | February 12 | MA | Objective 8.1 agreed and funded; Objective search investigated; 7.5 deemed best. Workshop with Objective Corp in April to explore future search requirements. Narnia work not yet started. | | 12 | The KIM team to ensure that the IAMs are able to monitor and control the naming of folders and files locally to promote best practice. | Medium-low | December 11 | KJ | IAMs briefed at March training meeting and feedback sought. Information on file naming in corporate records keeping manual on Narnia. Recent comprehensive trawl of file plan suggests general good practice in file naming. | | | Action 12.1: KIM team to provide guidance for IAM page on Narnia | Medium-low | March 12 | KJ | IAMs briefed at March training session to close files. Monitoring will be done via IAO compliance statements. | | 13 | The KIM team should review the Information and Records Management policies to ensure they reference records irrespective of medium and reflects current practice. | Medium-low | December 11 | SL | Done | | | Action 13.1: KIM team to redraft appropriate KIM pages on Narnia | Medium-low | March 12 | KJ | Over 5000 paper files identified in departments and management programmes agreed or files transferred to file store. Over 3000 redundant files destroyed. | | | Action 13.2: KIM team to prioritise proper management of corporate paper files still in departments | Medium-low | March 12 | KJ | Over 5000 paper files identified in departments and management programmes agreed or files transferred to file store. Over 3000 redundant files destroyed. | | 14 | The National Archives should consider how it can monitor or be alerted to large-scale movement of emails into Objective. | Medium-low | Ongoing | MA | Total email volume is monitored monthly. | | | Action 14.1: KIM team to monitor Objective stats and produce regular reports | Medium-low | Ongoing | MA | KIM team providing help and guidance to top 20 email inbox owners; considering further inbox management quotas. | | | Action 14.2: KIM team to manage down very large email inboxes | Medium-low | Ongoing | MA | KIM team providing help and guidance to top 20 email inbox owners; considering further inbox management quotas. | | Action | Description | Priority | Start Date | Responsible | Status | Notes | |--------|-------------|----------|------------|-------------|--------|-------| | 15.1 | KIM team to redraft IM resource page on Narnia and task IAOs | Medium-low | December 11 | KJ | done (ongoing monitoring via IAO reporting: risks being managed) | | | 15.2 | KIM team to take over policy lead on CRM system from IPS business support, and to take over Narnia and Outlook training from Internal Comms | Medium-low | May 12 | SL | KIM team to integrate CRM, Narnia and Outlook training into general KIM training for new entrants | | | 16.1 | KIM team to publish this on Narnia | Medium-low | September 11 | SL | Done | | | 17.1 | KIM team to populate WTK spreadsheets in IAP with technical details | Medium-low | Ongoing | KJ | Technical fields added to IAP; to be further populated by IAMs and as shared drives information assets are added; IAOs tasked | | | 19.1 | KIM team to map current processes and data owners, then apply IAO responsibility for agreed procedures. Related to recommendation 10 | Medium-low | April 12 | SL | Underway; included in IAO briefing and specialist training for Digital Preservation; agreement with IA team that their data risk review recommendations on incoming digital information from government will include requirement for clear cataloguing and ownership via the WTK schedules | | | 20.1 | KIM team to map current processes and data owners, then apply IAO responsibility for agreed procedures. Related to recommendation 10 and 19.1 | Medium-low | February 12 | SL | Underway; included in IAO briefing and specialist training for Digital Preservation; agreement with IA team that their data risk review recommendations on pre-ingest digital information from government will include requirement for clear cataloguing and ownership via the WTK schedules | | | Action Number | Description | Priority | Start Date | Responsible | Notes | |---------------|-------------|----------|------------|-------------|-------| | 21 | The National Archives should ensure KIM staff and appropriate information management specialists are included in risk and impact assessments when assessing changes. | Medium-low | October 11 | MA | Head of KIM participates in weekly ICT senior staff meetings; Information Manager participates in Technical Governance Board. Yes | | 22 | The National Archives should consider the provision of data protection refresher training. | Medium-low | December 11 | KJ | GSI on-line refresher training launched and completed by all staff by end-march. New CSL ‘protecting information level 1’ training package, which includes DPA aspects, substantially contributed to by KIM team. Yes | | 24 | The National Archives to consult available stakeholder groups to assess the validity and relevance of the information available for re-use, to better inform future releases. | Medium-low | October | SL | There are several opportunities for users to comment on our web-based information products. Web team currently doing further analysis of customer feedback requirements. | | 25 | The National Archives to develop an audit process for monitoring access to corporate systems. | Medium-low | February 12 | MA | Not yet started | | 26 | The KIM team should assess how the IAOs and IAMs could take responsibility for team areas on Narnia. | Medium-low | February 12 | MA | New Narnia project to start in April 2012: KIM team to ensure this aspect is covered |

Signed: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Department IMA Team Information Management Consultant | Action Number | Description | Priority | Start Date | Responsible | Notes | |---------------|-------------|----------|------------|-------------|-------| | 27 | The KIM team to coordinate a project to review Narnia long-term. | Medium-low | February 12 | MA | New Narnia project to start in April 2012 | | 28 | The National Archives should prioritise IAM and IAO training to enable the post holders to fulfil their responsibilities and act as advocates to support the KIM programme. | Medium-low | February 12 | SL | Done. | | 29 | KIM communications should be developed with the internal communications team, utilising the available communication and information channels, such as Narnia news stories and the digital Talk magazine. | Medium-low | Ongoing | MA | Next major internal communications planned around Objective upgrade | | 30 | The KIM team should review how knowledge transfer has developed within The National Archives and provide access to good practice examples within the department so it can be shared. | Medium-low | February | SL | Knowledge centre to be developed as part of Narnia upgrade project, including knowledge transfer good practice |